Tag: Loan Rule

Mutual Funds - ETFs

SEC Considering Fix to Loan Rule

The Securities and Exchange Commission’s staff is considering recommending a regulatory fix to the auditor independence issues caused by the Loan Rule, according to the SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC‘s semiannual regulatory agenda, which was made publicly available Thursday. The “Loan Rule,” actually a provision of Rule 2-01 of Regulation S-X, provides that an […]